Broker-Dealer Firms
27,152 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
Composite registration-status share across all firms
Active firms accept new client business and file annual Form ADV updates. Terminated firms have surrendered registration but remain searchable for historical disclosures.
Suspended registrations are typically pending an SEC or state-securities-commission review. Cancelled firms are administratively closed.
| Firm Name ↕ | State | Disclosures ↕ | Advisors ↕ | Grade | Status |
|---|---|---|---|---|---|
| D-MERC SERVICES CRD: 292310 | CO | 0 | 1 | A | Active |
| D. A. PINCUS & CO., INC. CRD: 7073 | — | 0 | 0 | A | INACTIVE |
| D. B. MCKENNA & CO., INC. CRD: 10386 | VT | 1 | 1 | F | Active |
| D. BORAL CAPITAL CRD: 103792 | NY | 2 | 1 | F | Active |
| D. BORAL IM LLC CRD: 337593 | — | 0 | 0 | A | Unknown |
| D. CONNORS KAGNO, ESQ. CRD: 17759 | — | 0 | 0 | A | INACTIVE |
| D. E. SHAW & CO., L.P. CRD: 108679 | — | 0 | 0 | A | Unknown |
| D. E. SHAW DIRECT CAPITAL, L.L.C. CRD: 147212 | — | 0 | 0 | A | Unknown |
| D. E. SHAW INVESTMENTS, L.P. CRD: 22786 | — | 2 | 0 | F | INACTIVE |
| D. E. SHAW VALENCE, L.L.C. CRD: 31995 | — | 0 | 0 | A | INACTIVE |
| D. F. DEGMAN & CO. INCORPORATED CRD: 7357 | — | 0 | 0 | A | INACTIVE |
| D. F. GREENE & CO. CRD: 2071 | — | 0 | 0 | A | INACTIVE |
| D. H. BLAIR & CO., INC. CRD: 6833 | — | 0 | 0 | A | INACTIVE |
| D. H. WALLACH, INC. CRD: 2889 | — | 0 | 0 | A | INACTIVE |
| D. KEITH RHEA CRD: 116960 | — | 0 | 0 | A | Unknown |
| D. L. & G. SECURITIES, INC. CRD: 24533 | — | 0 | 0 | A | INACTIVE |
| D. M. BRENNER, INC. CRD: 134398 | — | 0 | 0 | A | Unknown |
| D. MATTERSDORFF LLC CRD: 134150 | — | 0 | 0 | A | Unknown |
| D. MOSS WEALTH MANAGEMENT CRD: 313915 | — | 0 | 0 | A | Unknown |
| D. RAYMOND KENNEY & CO. CRD: 2423 | — | 0 | 0 | A | INACTIVE |
| D. SCOTT NEAL, INC. CRD: 110975 | — | 0 | 0 | A | Unknown |
| D. T. VALASSIS, INC. CRD: 15687 | — | 0 | 0 | A | INACTIVE |
| D. WECKSTEIN & CO., INC. CRD: 20338 | — | 5 | 0 | F | INACTIVE |
| D.A. DAVIDSON & CO. CRD: 199 | MT | 48 | 1 | F | Active |
| D.A. SCHWENKER & ASSOC.'S, INC. CRD: 119746 | — | 0 | 0 | A | Unknown |
| D.A.C. DAVIS INVESTMENT COUNSEL, INC. CRD: 107015 | — | 0 | 0 | A | Unknown |
| D.B. FRANK INVESTMENTS, INC. CRD: 115304 | — | 0 | 0 | A | INACTIVE |
| D.C. CAPITAL, LLC CRD: 103826 | — | 1 | 0 | F | INACTIVE |
| D.C. RESER & COMPANY CRD: 14102 | — | 0 | 0 | A | INACTIVE |
| D.D. COCHRAN & ASSOCIATES, INC. CRD: 13795 | — | 0 | 0 | A | INACTIVE |
| D.D. MARRELLO & CO. CRD: 155858 | — | 0 | 0 | A | Unknown |
| D.E. FREY & COMPANY, INC. CRD: 23595 | — | 23 | 0 | F | INACTIVE |
| D.E. SHAW SECURITIES, L.L.C. CRD: 24332 | NY | 5 | 1 | F | Active |
| D.F. DENT AND COMPANY, INC. CRD: 105179 | — | 0 | 0 | A | Unknown |
| D.G. CAPITAL MANAGEMENT CRD: 119283 | — | 0 | 0 | A | Unknown |
| D.G. MEYER & CO., INC. CRD: 19783 | — | 0 | 0 | A | INACTIVE |
| D.H. BLAIR INVESTMENT BANKING CORP. CRD: 28502 | — | 1 | 0 | F | INACTIVE |
| D.H. HILL ADVISORS, INC. CRD: 116324 | — | 0 | 0 | A | Unknown |
| D.H. HILL SECURITIES, LLLP CRD: 41528 | TX | 4 | 1 | F | Active |
| D.H. MILLER INVESTMENTS, INC. CRD: 13764 | — | 0 | 0 | A | INACTIVE |
| D.H. TROOB & COMPANY CRD: 16222 | — | 0 | 0 | A | INACTIVE |
| D.I. SECURITIES, INC. CRD: 7595 | — | 0 | 0 | A | INACTIVE |
| D.I.F. SECURITIES INC. CRD: 41897 | — | 2 | 0 | F | INACTIVE |
| D.J. SHAH FINANCIAL SERVICES CRD: 117629 | — | 0 | 0 | A | Unknown |
| D.L. FIELDS ADVISORY GROUP, LLC CRD: 286216 | — | 0 | 0 | A | Unknown |
| D.L. SIZEMORE & CO., INC. CRD: 114379 | — | 0 | 0 | A | Unknown |
| D.L. SMITH,INC. CRD: 13507 | — | 0 | 0 | A | INACTIVE |
| D.L. YOHO INVESTMENT ADVISORS LLC. CRD: 285214 | — | 0 | 0 | A | Unknown |
| D.L.V. SECURITIES, INC. CRD: 32337 | — | 0 | 0 | A | INACTIVE |
| D.M. KELLY & COMPANY CRD: 38770 | IA | 1 | 1 | F | Active |